Transformation Delivery for Financial Services
A Practitioner's Course
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Transformation Delivery for Financial Services
A nine-session written course on governance, sponsorship, regulatory change delivery, and the discipline of landing change in organisations that cannot afford to get it wrong
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Disclaimer This course is provided for general information and education only. It is not legal advice. Legislation, rules and regulatory guidance change, sometimes quickly. Readers should confirm the current position and obtain jurisdiction-specific professional advice where needed. The views and experience expressed are Russel Fielding's own and do not represent any employer or client organisation. |
Transformation Delivery for Financial Services: a practitioner's course
This nine-session written course explains how large transformation and regulatory change programmes are governed, sponsored, delivered and handed over inside regulated financial services organisations.
It is written for PMO leads, compliance and risk professionals with delivery responsibility, senior managers accountable for change under the relevant accountability regime, and change management professionals. The perspective is practical: how this work is delivered inside major banks and regulated organisations, not how it appears from outside.
The course is based on best delivery principles that can work anywhere. The legislation examples use the UK as the primary reference point, with secondary examples from New Zealand and Australia.
The nine sessions
Each session is self-contained. Each ends with a Key Takeaways box, a Jurisdiction Equivalents section where relevant, and pointers to the underlying legislation, regulatory guidance and published Ārai Tika material.
Why the delivery half of transformation determines success in financial services, what makes the sector's transformation challenge structurally different, and how the nine sessions are organised.
The difference between active and nominal executive sponsorship, the most common governance failures in large programmes, and what boards need to understand about overseeing transformation.
What makes regulatory change different from discretionary transformation: the fixed deadline, the externally defined scope, and the personal accountability that follows a poor outcome.
Why change management is a delivery discipline rather than a workstream, the ADKAR model as a diagnostic, stakeholder mapping under personal accountability regimes, and training that carries regulatory weight.
Why programme risk registers so often exist for governance rather than for management, the dynamics that suppress honest escalation, and how benefits realisation extends risk management beyond go-live.
Why methodology debates distract from the real question, the three shapes of delivery work found in regulated organisations, and how to choose deliberately rather than by default.
Why status reports are structurally incapable of carrying the signals that predict programme drift, and what sponsors and programme managers can do to close the gap.
Why the handover from build to business as usual is the point where regulatory programmes most often start to fail, and what a genuine handover and ongoing monitoring look like.
A consolidated checklist across governance, sponsorship, regulatory change, people, risk, framework choice, reporting and handover, cross-referenced to the preceding eight sessions. A working reference to return to.
From this course
| Practical frameworks, not theory | Written from delivery experience inside major banks and regulated organisations across financial services. The course addresses what programmes look like in practice, including where they commonly fall short. |
| Regulatory literacy | Covers the accountability regimes that shape delivery in each jurisdiction: the Senior Managers and Certification Regime in the UK, the Financial Accountability Regime in Australia, and the governance and licensing obligations that apply in New Zealand, including the Conduct of Financial Institutions regime. |
| A working reference | Includes the consolidated implementation checklist in Session Nine. Designed to be returned to when reviewing a programme, briefing a board, or scoping new delivery capability, not something read once and set aside. |
Primary frameworks covered
This course is principle-led, with the main examples drawn from the UK. The principal frameworks covered across the nine sessions are summarised below.
| Financial Services and Markets Act 2000, section 66A | The Senior Managers and Certification Regime duty of responsibility. A senior manager may be held accountable for a breach in their area if they did not take the steps a person in their position could reasonably be expected to take. |
| Operational resilience rules and supervisory expectations | Firms must identify important business services, set impact tolerances, map and test their ability to remain within those tolerances, and keep the supporting self-assessment current as part of ongoing governance. |
| Outstanding Basel III standards implementation | The UK's implementation of the outstanding Basel III standards is an example of a fixed, externally imposed regulatory change deadline of the kind Session Three addresses directly. |
| Financial Markets Conduct Act 2013, Part 6, Subpart 6A | The Conduct of Financial Institutions regime. Financial institutions must establish, implement and maintain an effective fair conduct programme meeting the minimum requirements in section 446J. |
| Financial Accountability Regime (Australia) | Australia's Financial Accountability Regime applies across banking, insurance and superannuation, replacing the Banking Executive Accountability Regime and imposing individual accountability obligations on accountable persons. |
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Start with Session One Introduction: Why Transformation Fails in Financial Services. Start with Session One |
Ārai Tika